Search Result

EG 3.8A Information requests and entry of premises under warrant to assist EEA regulators in relation to the Market Abuse Regulation or the auction regulation [deleted]

…

EG 4.14 Joint investigations with the PRA

As Published: 2016

EG 4.14 Joint investigations with the PRA

…

ICOBS 4.1 General requirements for insurance intermediaries and insurers

As Published: 2007

ICOBS 4.1 General requirements for insurance intermediaries and insurers

…

SYSC 10.2 Chinese walls

As Published: 2007

SYSC 10.2 Chinese walls

…

SUP 15.10 Reporting suspicious transactions or orders (market abuse)

As Published: 2005

SUP 15.10 Reporting suspicious transactions or orders (market abuse)

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

FEES 6.5A The retail pool

FEES App 1 Annex 4 Glossary of definitions

ICOBS 8.2 Motor vehicle liability insurers

SUP 10A.10 Customer-dealing functions

EG 19.22 Decision making under the Payment Services Regulations

EG 16.4 The effect of a disapplication order

MAR 9.3 Notification and information

EG 4.7 Use of statutory powers to require the production of documents, the provision of information or the answering of questions

PRIN 1.2 Clients and the Principles

EG 2.5 Cases where other authorities have an interest

COLL 6.6A Duties of AFMs in relation to UCITS schemes

SUP 8.5 Notification of altered circumstances relating to waivers

FEES 5.1 Application and Purpose

EG 19.7 The Open-Ended Investment Companies Regulations 2001

REC 6.8 Powers to supervise

EG 3.8A Information requests and entry of premises under warrant to assist EEA regulators in relation to the Market Abuse Regulation or the auction regulation [deleted]

EG 4.14 Joint investigations with the PRA

ICOBS 4.1 General requirements for insurance intermediaries and insurers

SYSC 10.2 Chinese walls

SUP 15.10 Reporting suspicious transactions or orders (market abuse)